Allen R. Aden
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allen Roger Aden was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1972. Allen had worked at 6 firms and has passed the Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 1983 - June 7, 1984
FIRST INTERWEST SECURITIES CORPORATION
November 16, 1982 - March 21, 1983
AMERICAN FRONTEER FINANCIAL CORPORATION
March 28, 1977 - October 6, 1982
FIRST FINANCIAL SECURITIES, INC.
July 13, 1976 - February 20, 1977
PITTMAN & COMPANY, INCORPORATED
December 16, 1974 - August 1, 1976
HANIFEN, IMHOFF INC.
November 14, 1972 - January 2, 1975
BARTON AND COMPANY INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/8/1972
Registered Representative ExaminationSeries 40
Date: 9/24/1976
Registered Principal ExaminationCurrent Firm
FIRST INTERWEST SECURITIES CORPORATION
CRD#: 13492 / SEC#: , 8-29370
Contact information
Documents
Red Flags
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